Compliance Manager

Rio 2100, 63 S Rockford Drive, Tempe, Arizona, United States of America, Encino Building #2, 5707 Southwest Parkway, Austin, Texas, United States of America Job Description Posted Thursday, August 20, 2026 at 8:00 AM Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals- including traditional and hybrid RIAs to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients Lead with Purpose. Partner with Impact. The AML Manager is responsible for managing the day-to-day execution of Kestra's Anti-Money Laundering Program, including oversight of AML investigations, suspicious activity reporting, transaction monitoring, regulatory compliance, and AML staff. This role provides leadership and guidance to AML team members, ensures alignment with departmental objectives, and drives continuous improvement within the AML function. The AML Manager serves as a key resource to Compliance leadership and business partners, balancing operational execution with strategic program enhancement. This position requires a demonstrated ability to lead teams, manage competing priorities, solve complex compliance issues, and implement effective risk-based solutions while ensuring compliance with applicable regulatory requirements. What You'll Do: Manage the daily operations of the AML program, ensuring investigations, monitoring activities, and regulatory obligations are completed accurately and timely. Oversee AML investigations, suspicious activity reviews, enhanced due diligence activities, and transaction monitoring processes. Review and oversee the preparation and filing of Suspicious Activity Reports (SARs), Currency Transaction Reports (CTRs), and responses to regulatory or law enforcement requests. Supervise, coach, develop, and provide performance feedback to AML team members. Establish team priorities, assign workload, and monitor performance against department objectives and service standards. Ensure appropriate risk identification, escalation, documentation, and resolution of potentially suspicious activity. Partner with Compliance, Supervision, Legal, Operations, Risk Management, and business units to address complex AML matters and emerging risks. Analyze regulatory developments and industry trends to ensure AML program requirements remain current and effective. Recommend and implement process improvements, automation opportunities, and operational efficiencies that strengthen program effectiveness. Develop and maintain AML procedures, controls, and training materials. Support internal audits, regulatory examinations, independent AML testing, and regulatory inquiries. Prepare management reporting, metrics, and trend analyses regarding AML risks, investigations, SAR activity, and program effectiveness. Contribute to departmental planning and provide recommendations regarding resource allocation, staffing, and program enhancements. Promote a culture of compliance, accountability, collaboration, and continuous improvement within the AML team. What You Bring: Bachelor's degree required or equivalent combination of education and relevant experience. Minimum 5-7 years of experience in AML, compliance, financial crimes investigations, or related financial services functions. Prior leadership, supervisory, project leadership, or team management experience preferred. Demonstrated experience managing complex investigations and regulatory compliance matters. Experience within a broker-dealer, registered investment adviser, financial institution, or related regulated environment strongly preferred. Demonstrated leadership capability with the ability to manage, coach, and develop employees. Strong knowledge of Bank Secrecy Act (BSA), Anti-Money Laundering (AML), OFAC, FinCEN, and related regulatory requirements. Ability to manage multiple priorities while balancing operational demands and strategic initiatives. Strong analytical and critical thinking skills with the ability to identify root causes and develop risk-based solutions. Ability to influence stakeholders and collaborate effectively across departments. Excellent verbal, written, and presentation skills. Ability to communicate effectively with employees, management, regulators, auditors, and external partners. Demonstrated project management and process improvement capabilities. Ability to independently make sound decisions in complex situations with limited guidance. Strong organizational skills and attention to detail. Proficiency with Microsoft Office applications and compliance-related systems. Supervisory Responsibilities: Directly supervises AML personnel. Carries out supervisory responsibilities in accordance with company policies and applicable employment laws. Responsibilities include interviewing, hiring recommendations, training, performance management, coaching, workload allocation, employee development, and disciplinary recommendations. Accountable for overall team performance, quality standards, and achievement of departmental objectives. Certifications, Licenses, Registrations: Series 24 required (or obtained within 90 days of employment) CAMS certification required Internal Application Policy: Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP . Benefits to support you: Competitive pay and benefits with a large employer (over 1600 employees nationwide) 401(k), health insurance, and a competitive benefits package Work in a supportive, collaborative environment committed to professional excellence Help clients navigate meaningful financial decisions with confidence Opportunities for training, development, and long-term growth within the firm Kestra Values: Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: Serve, Make it Happen, and One team. Disclosure You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment. It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment. Rio 2100, 63 S Rockford Drive, Tempe, Arizona, United States of America, Encino Building #2, 5707 Southwest Parkway, Austin, Texas, United States of America #J-18808-Ljbffr